SEC NEWS DIGEST Issue 2004-166 August 27, 2004 ENFORCEMENT PROCEEDINGS SEC BRINGS SETTLED FRAUD ACTION AGAINST MUTUAL FUND ADVISER VAN WAGONER CAPITAL MANAGEMENT, INC., AND GARRETT VAN WAGONER On August 26, the Commission filed settled administrative and cease and desist proceedings against Van Wagoner Capital Management (VWCM), the investment adviser to the Van Wagoner Funds, and Garrett Van Wagoner, the owner and manager of VWCM. The Commission’s order finds that Van Wagoner and VWCM committed fraud and other violations when they misstated the valuations of certain securities held by the Funds. The Commission’s order also finds that Van Wagoner and VWCM misled the Van Wagoner Funds’ shareholders about the size and value of the Funds’ investments in illiquid securities. From 1999 through 2001, Van Wagoner invested for the Funds in illiquid securities issued by private companies, which could not be sold readily. Although the Funds’ disclosures generally limited these investments to 15 percent of the portfolios, Van Wagoner invested in illiquid securities in ways that violated the limitations. Also, contrary to law and to representations that the Funds made, in late 2000 and at times in 2001, Van Wagoner did not fair value the Funds’ private equity securities in good faith, which caused the net asset value, or market price, of the Funds’ shares to be incorrectly stated. In settling with the Commission, Van Wagoner and VWCM have agreed, without admitting or denying the Commission’s allegations, to be censured and to cease and desist from committing or causing violations of Sections 206(1) and 206(2) of the Investment Advisers Act and Section 17(j) of the Investment Company Act and Rules 17j-1(c)(2) and 22c-1. They have also agreed to pay, jointly and severally, an $800,000 civil penalty. Under the settlement, Van Wagoner has agreed for a period of seven years, commencing Dec. 31, 2004, not to serve as an officer or director of any mutual fund and to abstain from recommendations about private equity valuations or purchases, and from liquidity determinations for the Funds. VWCM will also hire an independent consultant to report on the procedures for valuing private investments and determining liquidity. The Commission also instituted settled administrative proceedings against two persons formerly associated with the Funds. Robert Colman, a former director, has agreed without admitting or denying the allegations to cease and desist from committing or causing violations of Rules 17d-1(a) and 17j-1(d) under the Investment Company Act, based on private investments he made while a director. He will also pay a $25,000 civil penalty and disgorge $16,800 in directors’ fees and interest. Audrey Buchner, a former equity analyst of VWCM, has agreed without admitting or denying the allegations to cease and desist from committing or causing violations of Section 17(j) and Rules 17j-1(b) and 17j-1(d) under the Investment Company Act, based on concealed personal trading. She will pay a $35,000 civil penalty. (Garrett Van Wagoner and Van Wagoner Capital Management, Inc. - Rels. IA-2281; IC-26579; File No. 3-11611); (Audrey L. Buchner – Rels. IA-2282; IC-26580; File No. 3- 11612); (Robert S. Colman – Rel. IC-26581; File No. 3-11613); (Press Rel. 2004-122) COMMISSION DECLARES DECISION AS TO IAN RENERT FINAL The decision of an administrative law judge barring Ian L. Renert from association with any investment adviser has become final. The law judge found that, on April 24, 2004, the U.S. District Court for the District of Connecticut entered a final judgment against Renert permanently enjoining him from violations of Securities Act Sections 5(a), 5(c), and 17(a), Exchange Act Section 10(b), Exchange Act Rule 10b-5, Advisers Act Sections 206(1) and 206(2), and Investment Company Act Section 7(d). The court further ordered Renert to disgorge $717,276, plus $117,264 in prejudgment interest, and to pay a $250,000 civil penalty. The law judge found Renert's conduct egregious and recurrent. From 1997 through 2000, Renert raised $22 million in a fraudulent offering of interests in unregistered offshore mutual funds from more than 800 investors. Renert misrepresented that the funds would be invested in bank debentures. He failed to disclose that he used the funds to engage in day trading in Internet stocks and to pay his mortgage. (Rel. IA- 2283; File No. 3-11519) RONALD BROUILLETTE, JR. BARRED Ronald D. Brouillette, Jr., has been barred from association with a broker-dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered Final Judgment of Permanent Injunction against Brouillette in 2004. Brouillette is permanently enjoined from violating the antifraud and registration provisions of the federal securities laws. The injunction was based on Brouillette’s involvement in a fraudulent pump and dump scheme to sell the securities of Pay Pop, Inc., a now-defunct company, to the public. (Rel. 34-50268; File No. 3-11552) IN THE MATTER OF ALNOOR JIWAN An Administrative Law Judge has issued an Order Making Findings and Imposing Sanction By Default against Alnoor Jiwan (Default Order) in the Matter of Alnoor Jiwan. The Order Instituting Proceedings alleged that on July 1, 2004, the U.S. District Court for the District of Columbia entered a final judgment that, among other things, permanently enjoined Alnoor Jiwan from violating, directly or indirectly, Sections 5 and 17(a) of the Securities Act of 1933 and from violating, directly or indirectly, or aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Default Order finds these allegations to be true and bars Alnoor Jiwan from association with any transfer agent. (Rel. 34-50271; File No. 3-11553) FEDERAL JUDGE FINDS DEFENDANT ALFRED LOUIS VASSALLO, JR. IN CONTEMPT OF COURT AND IMPOSES SANCTIONS The Commission announced that on August 11 U.S. District Judge Irma E. Gonzalez in San Diego issued an order finding defendant Alfred Louis SBobby” Vassallo, Jr. to be in civil contempt. The court found that Vassallo willfully violated prior orders of the Court designed to assist the Court-appointed permanent receiver over Vassallo’s former company, Presto Telecommunications, Inc. (Presto) of San Diego. The Court’s contempt order provides for sanctions against Vassallo of incarceration and monetary compensation to the receiver for losses that Vassallo’s past non-compliance has caused. The Commission supported the receiver’s contempt application against Vassallo. The Court’s contempt order found that Vassallo, 54, of La Jolla, California, violated the Court’s March 9, 2004, Order, which provided, among other things, for Vassallo to transfer control of Presto’s 49% interest in Presto Telecomunicaciones, S.A. de C.V. (Presto Mexico) and Vassallo’s authority as legal representative of Presto Mexico to the receiver. The Court’s contempt order, modified by Judge Gonzalez on Aug. 13, 2004, provided that by Thursday, Aug. 19, 2004, Vassallo must comply with specific provisions of the Court’s prior orders. The Court’s contempt order states that should Vassallo fail to strictly comply with the mandates of the contempt order, a warrant will issue for his arrest and he will be incarcerated until compliance is achieved. In a separate order issued on Aug. 19, 2004, the Court imposed a fine of $13,228 on Vassallo as compensation to the receivership estate for losses as a result of Vassallo’s contempt, which Vassallo must pay no later than Sept. 10, 2004. The Commission’s complaint against Presto and Vassallo, filed on Jan. 27, 2004, in federal court in San Diego, alleged that the defendants induced more than 800 investors in 42 states to invest in Presto with promises that the company had significant business relationships with AT&T, Sprint, MCI, and Qwest. These four telecommunications companies had purportedly expressed interest in acquiring Presto or in making capital investments in the company. Further, investors were advised that Presto was a “partner” to and has “alliances” with Cisco Systems and Unisys. Investors were also told that the U.S. Commerce Department was lobbying Mexican telecommunications regulators on Presto’s behalf, and that their funds would be used to build and operate a telecommunications network in Mexico. According to the complaint, these representations were false. Additionally, the complaint alleged that while Vassallo and others have represented that investor funds would be used to pay Presto’s business expenses, primarily fiber optics and equipment, in fact only 16% of investor and company funds were used for equipment and fiber, and Vassallo himself has misappropriated at least $1.2 million in investor and company funds for personal use. Vassallo used the misappropriated funds to purchase jewelry and luxury automobiles, to make a down payment on an expensive home, and for mortgage payments, home improvements, political and charitable contributions, and school tuition for his children. On March 1, 2004, the District Court issued an order that preliminarily enjoins Presto and Vassallo from future violations of the registration and antifraud provisions of the federal securities laws, Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Also on March 1, the District Court granted the other relief that the Commission sought, including an order freezing Presto’s and Vassallo’s assets, and appointing Thomas F. Lennon as a permanent receiver over Presto. In addition to the preliminary relief granted on March 1, the Commission seeks permanent injunctions, and other relief, including disgorgement and civil penalties, against Presto and Vassallo. [SEC v. Presto Telecommunications, Inc., and Alfred Louis Vassallo, Jr. aka Bobby Vassallo, Civil Action No. 04CV00163IEG(POR) S.D. Cal.] (LR-18858) INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Morgan Stanley All-Star Growth Fund [File No. 811-10173] (Rel. IC -26537- August 25, 2004) Morgan Stanley Next Generation Trust [File No. 811-9441] (Rel. IC -26538- August 25, 2004) Morgan Stanley High Income Advantage Trust [File No. 811-5337] (Rel. IC -26539- August 25, 2004) Morgan Stanley High Income Advantage Trust II [File No. 811-5612] (Rel. IC -26540- August 25, 2004) Morgan Stanley High Income Advantage Trust III [File No. 811-5700] (Rel. IC -26541- August 25, 2004) Active Assets Premier Money Trust [File No. 811-9711] (Rel. IC -26542- August 25, 2004) Iowa Schools Joint Investment Trust [File No. 811-7698] (Rel. IC -26543- August 25, 2004) Fidelity Capital Investment Plans [File No. 811-990] (Rel. IC -26544- August 25, 2004) Fidelity Trend Investment Plans [File No. 811-1269] (Rel. IC -26545- August 25, 2004) Salem Investment PFAS Fidelity Magellan Fund [File No. 811-1469] (Rel. IC -26546- August 25, 2004) The Kaufmann Fund, Inc. [File No. 811-1586] (Rel. IC -26547- August 25, 2004) FBR Fund for Government Investors [File No. 811-2539] (Rel. IC -26548- August 25, 2004) FBR American Gas Index Fund, Inc. [File No. 811-5702] (Rel. IC -26549- August 25, 2004) FBR Family of Funds [File No. 811-7665] (Rel. IC -26550- August 25, 2004) Liberty Investment Grade Bond Fund (formerly Colonial Investment Grade Interval Trust) [File No. 811-9701] (Rel. IC -26551- August 25, 2004) Liberty Funds Trust IX (formerly LAMCO Trust I) [File No. 811-9095] (Rel. IC -26552- August 25, 2004) Liberty Stein Roe Funds Institutional Trust (formerly Stein Roe Institutional Trust) [File No. 811-7823] (Rel. IC -26553- August 25, 2004) Liberty Funds Trust VIII (formerly LFC Utilities Trust) [File No. 811-6393] (Rel. IC -26554- August 25, 2004) D.L. Babson Tax-Free Income Fund, Inc. [File No. 811-2948] (Rel. IC -26555- August 25, 2004) Babson Enterprise Fund, Inc. [File No. 811-3823] (Rel. IC -26556- August 25, 2004) Babson Value Fund, Inc. [File No. 811-4114] (Rel. IC -26557- August 25, 2004) Shadow Stock Fund, Inc. [File No. 811-5218] (Rel. IC -26558- August 25, 2004) Babson Enterprise Fund II, Inc. [File No. 811-6252] (Rel. IC -26559- August 25, 2004) Great Hall Investment Funds, Inc. [File No. 811-6340] (Rel. IC -26560- August 25, 2004) RBC Funds, Inc. [File No. 811-8384] (Rel. IC -26561- August 25, 2004) J&B Funds [File No. 811-10039] (Rel. IC -26562- August 25, 2004) D.L. Babson Money Market Fund, Inc. [File No. 811-2963] (Rel. IC -26563- August 25, 2004) D.L. Babson Bond Trust [File No. 811-495] (Rel. IC -26564- August 25, 2004) David L. Babson Growth Fund, Inc. [File No. 811-901] (Rel. IC -26565- August 25, 2004) South Dakota Tax-Free Fund, Inc. [File No. 811-8124] (Rel. IC -26566- August 25, 2004) UC Investment Trust [File No. 811-8701] (Rel. IC -26567- August 25, 2004) PIC Growth Portfolio [File No. 811-6496] (Rel. IC -26568- August 25, 2004) PIC Small Cap Portfolio [File No. 811-8060] (Rel. IC -26569- August 25, 2004) PIC Mid Cap Portfolio [File No. 811-8593] (Rel. IC -26570- August 25, 2004) PIC Investment Trust [File No. 811-6498] (Rel. IC -26571- August 25, 2004) UBS Redwood Fund, L.L.C. [File No. 811-10077] (Rel. IC -26572- August 25, 2004) The Munder Funds, Inc. [File No. 811-7346] (Rel. IC -26573- August 25, 2004) The Bear Stearns Funds [File No. 811-8798] (Rel. IC -26574- August 25, 2004) Select Asset Fund III [File No. 811-10081] (Rel. IC -26575- August 25, 2004) DK Investors, Inc. [File No. 811-2886] (Rel. IC –26576- August 25, 2004) AMERICAN UNITED LIFE POOLED EQUITY FUND B OF AMERICAN UNITED LIFE INSURANCE COMPANY An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that American United Life Pooled Equity Fund B of American United Life Insurance Company has ceased to be an investment company. (Rel. IC-26577 – August 26) AAL VARIABLE PRODUCT SERIES FUND, INC. An order has been issued under Section 8(f) of the Investment Company Act declaring that AAL Variable Product Series Fund, Inc. has ceased to be an investment company. (Rel. IC-26578 – August 26) ASA LIMITED, ET AL. A notice has been issued giving interested persons until Sept. 17, 2004, to request a hearing on an application filed by ASA Limited (ASA) and ASA (Bermuda) Limited (ASAB) for an order under Section 7(d) of the Investment Company Act. The requested order would permit ASA to change its country of incorporation from South Africa to Bermuda by reorganizing into ASAB and permit ASAB to register under the Act. ASA and ASAB also seek approval of certain changes to the custodian agreement and the conditions governing their custodial arrangements. (Rel. IC-26582 - August 27) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2004-124) to provide an exception from shareholder approval requirements when officers, directors, employees or consultants participate in a discounted private placement. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50259) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2004-118) to add paragraph (v) to NASD Rule 7010 to introduce an extranet access fee for extranet providers to provide direct access services for Nasdaq market data feeds. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34- 50262) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-105) and Amendment No. 1 thereto to amend Rule 4350(n) and IM-4350-7 to provide time frames for foreign issuers and foreign private issuers to disclose certain code of conduct waivers. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50267) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto (SR-Amex-2004-60) filed by the American Stock Exchange relating to listed company board of director independence standards has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50263) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2004-42) relating to the calculation of securities indexes underlying options. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50269) A proposed rule change (SR-Amex-2004-70) filed by the American Stock Exchange relating to an amendment to the Amex Company Guide to provide the Amex Board of Governors with discretion to defer, waive or rebate listing fees has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34- 50270) A proposed rule change (SR-NASD-2004-129) filed by the National Association of Securities Dealers to amend, and provide an interpretation to, Section 3 of Schedule A to NASD By-Laws and amend NASD’s Permanent Self-Reporting Form has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 30. (Rel. 34-50274) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-PHLX-2004-55) submitted by the Philadelphia Stock Exchange relating to NASDAQ-100 Index Tracking StockSM equity transaction charges. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50276) EXTENSION OF COMMENT PERIOD The Commission has decided, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, to extend the comment period for a proposed rule change filed by the New York Stock Exchange (Rel. 34-50173 (Aug. 10, 2004) SR-NYSE-2004-05) to enhance the Exchange's existing automatic execution facility (NYSE Direct+). The comment period has been extended until Sept. 22, 2004. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34- 50277) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 AXIA GROUP, INC., 1324 N. MAGNOLIA AVE., EL CAJON, CA, 92020, 6194441919 - 0 ($27,200.00) Equity, (File 333-118567 - Aug. 26) (BR. 08) S-1 NATIONAL PATENT DEVELOPMENT CORP, 777 WESTCHESTER AVE., FOURTH FLOOR, WHITE PLAINS, NY, 10640, 17,681,487 ($13,261,115.25) Other, (File 333-118568 - Aug. 26) (BR. 06) S-8 FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC, 27371-0508, 9105766171 - 850,000 ($27,676,000.00) Other, (File 333-118570 - Aug. 26) (BR. 07) S-8 CHARTERMAC, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2124215333 - 855,277 ($12,963,897.00) Equity, (File 333-118571 - Aug. 26) (BR. 08) S-8 AMERICAN MORTGAGE ACCEPTANCE CO, 625 MADISON AVE, NEW YORK, NY, 10022, 2124215333 - 855,277 ($12,963,897.00) Equity, (File 333-118572 - Aug. 26) (BR. 08) S-8 WCI COMMUNITIES INC, 24301 WALDEN CENTER DRIVE, SUITE 300, BONITA SPRINGS, FL, 34134, 2394988605 - 0 ($253,870,000.00) Equity, (File 333-118573 - Aug. 26) (BR. 06) S-8 ADVANCED BATTERY TECHNOLOGIES, INC., 425 WASHINGTON BLVD., SUITE 2205, JERSEY CITY, NJ, 07310, 212-232-0120 EXT 221 - 5,000,000 ($16,250,000.00) Equity, (File 333-118574 - Aug. 26) (BR. 05) S-2 GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105, 3145129200 - 450,000 ($9,000,000.00) Equity, (File 333-118575 - Aug. 26) (BR. 36) F-1 PANOSHAN, SUITE 1250, 5 20 5TH AVENUE, CALGARY, A0, T2P3R7, 403-461-8425 - 2,700,000 ($135,000.00) Equity, (File 333-118576 - Aug. 26) (BR. 08) S-3 IRIS INTERNATIONAL INC, 9162 ETON AVE, CHATSWORTH, CA, 91311, 8187091244 - 853,040 ($5,868,915.20) Equity, (File 333-118577 - Aug. 26) (BR. 36) SB-2 SYNDICATION NET COM INC, 1250 24TH STREET NW, SUITE 300, WASHINGTON, DC, 20037, 2024672788 - 49,950,000 ($12,487,500.00) Equity, (File 333-118578 - Aug. 26) (BR. 08) S-8 REUTERS GROUP PLC /ADR/, 85 FLEET STREET, 7TH FLOOR, LONDON, X0, EC4P 4AJ, 44 (0) 207 250 1122 - 48,000,000 ($275,080,080.00) Equity, (File 333-118579 - Aug. 26) (BR. 05) S-8 QUADRAMED CORP, 12110 SUNSET HILLS ROAD, SUITE 600, RESTON, VA, 20190, 7037092300 - 0 ($330,000.00) Equity, (File 333-118580 - Aug. 26) (BR. 03) S-8 QUADRAMED CORP, 12110 SUNSET HILLS ROAD, SUITE 600, RESTON, VA, 20190, 7037092300 - 0 ($4,225,015.00) Equity, (File 333-118581 - Aug. 26) (BR. 03) SB-2 VOYAGER ONE INC, 859 WEST END COURT, #I, VERNON HILLS, IL, 60061, 8479846200 - 5,210,560 ($13,026,400.00) Equity, (File 333-118582 - Aug. 26) (BR. 36) S-1 Nalco Holding CO, 1601 WEST DIEHL ROAD, NAPERVILLE, IL, 60563, (630) 305-1000 - 0 ($800,000,000.00) Equity, (File 333-118583 - Aug. 26) (BR. ) S-8 SUPREME INDUSTRIES INC, 65140 US 33 E, PO BOX 237, GOSHEN, IN, 46526, 2196423070 - 600,000 ($3,774,000.00) Equity, (File 333-118584 - Aug. 26) (BR. 05) S-3 REMEDYTEMP INC, 101 ENTERPRISE, SLISO VIEJO, CA, 92656, 9494257600 - 0 ($35,891,461.00) Equity, (File 333-118585 - Aug. 26) (BR. 37) S-8 MAKE YOUR MOVE INC, 2164 N GLASSELL ST, ORANGE, CA, 92865, 7146371697 - 11,000,000 ($221,147.00) Debt Convertible into Equity, (File 333-118586 - Aug. 26) (BR. 09) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off- Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------ ACCREDITED HOME LENDERS INC MORTGAGE DE 8.01 08/25/04 ADVANCED MEDIA TRAINING INC DE 5.01 06/04/04 AEGIS COMMUNICATIONS GROUP INC DE 7.01,9.01 08/24/04 AEOLUS PHARMACEUTICALS, INC. DE 4.01,9.01 08/23/04 AES RED OAK LLC 8.01 08/26/04 ALIGN TECHNOLOGY INC DE 8.01,9.01 08/19/04 ALLIANCE GAMING CORP NV 2.01,9.01 06/30/04 AMEND ALLIED HEALTHCARE PRODUCTS INC DE 2.02 08/26/04 ALLIED MOTION TECHNOLOGIES INC CO 2.01,2.03,3.02,9.01 08/23/04 ALLMERICA FINANCIAL CORP DE 7.01,9.01 08/25/04 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 08/25/04 AMERICAN AIRLINES INC DE 8.01 08/26/04 AMERICAN EDUCATION CORP NV 8.01,9.01 08/26/04 AMERICAN INSURED MORTGAGE INVESTORS S CA 8.01,9.01 08/23/04 AMERICAN LAWYER MEDIA HOLDINGS INC DE 1.01,9.01 08/26/04 AMERICAN LAWYER MEDIA INC DE 1.01,9.01 08/26/04 AMERICAN UNITED GLOBAL INC DE 8.01,9.01 08/11/04 AMERICAN WATER STAR INC NV 3.02 08/26/04 AMERIQUEST MORTGAGE SEC INC AS BK PAS DE 8.01 08/25/04 AMERIQUEST MORTGAGE SEC INC ASSET BK DE 8.01 08/25/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 08/25/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 08/25/04 AMERISERV FINANCIAL INC /PA/ PA 2.01 08/26/04 AMR CORP DE 8.01 08/26/04 ANTHEM INC IN 8.01,9.01 08/25/04 APOLLO GROUP INC AZ 7.01 08/25/04 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 08/20/04 APPLIED SIGNAL TECHNOLOGY INC CA 2.02 08/26/04 AQUANTIVE INC WA 1.01,9.01 08/24/04 ARGENT SECURITIES ASSET BCKED PASS TH DE 8.01 08/25/04 ARGENT SECURITIES INC ASSET BACK PASS 8.01 08/25/04 ARGENT SECURITIES INC ASSET BACK PASS 8.01 08/25/04 ARGENT SECURITIES INC ASSET BACK PASS 8.01 08/25/04 ARGENT SECURITIES INC ASSET BACK PASS 8.01 08/25/04 ARGENT SECURITIES INC ASSET-BACKED PA 8.01 08/25/04 ARGENT SECURITIES INC ASSET-BACKED PA 8.01 08/25/04 ARGENT SECURITIES INC ASSET-BACKED PA 8.01 08/25/04 ARGENT SECURITIES INC ASST BACK PASS 8.01 08/25/04 ASSET-BACKED PASS-THROUGH CERTIFICATE DE 8.01 08/25/04 ASSET-BACKED PASS-THROUGH CERTIFICATE 8.01 08/25/04 ATA HOLDINGS CORP IN 7.01 08/25/04 ATLAS AMERICA INC DE 8.01 08/26/04 ATLAS PIPELINE PARTNERS LP DE 8.01 08/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/26/04 BIODELIVERY SCIENCES INTERNATIONAL IN IN 1.01,1.02,2.01,3.02,8.01,9.01 08/26/04 BioMed Realty Trust Inc MD 2.01,9.01 08/11/04 BORDEN CHEMICAL INC NJ 5.01,9.01 08/26/04 BROWN FORMAN CORP DE 2.02,9.01 08/26/04 BRUSH ENGINEERED MATERIALS INC 7.01,9.01 08/04/04 AMEND C&D TECHNOLOGIES INC DE 2.02,9.01 08/26/04 CABLEVISION SYSTEMS CORP /NY DE 5.02 08/23/04 CACI INTERNATIONAL INC /DE/ DE 8.01 08/26/04 CAMBREX CORP DE 5.02,9.01 08/25/04 CANO PETROLEUM, INC 2.01,4.01,8.01,9.01 06/30/04 AMEND CAREY INSTITUTIONAL PROPERTIES INC /M MD 8.01,9.01 08/25/04 AMEND CARRINGTON MORTGAGE LOAN TRUST, SERIE 8.01 08/25/04 CATALYST SEMICONDUCTOR INC DE 2.02,9.01 08/26/04 CELERITEK INC/CA CA 9.01 07/08/04 AMEND CENTRAL COAST BANCORP CA 8.01 08/23/04 CERADYNE INC DE 2.01,2.03,7.01,9.01 08/23/04 CHALONE WINE GROUP LTD CA 8.01 08/23/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD 9.01 07/31/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD 9.01 07/31/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 9.01 07/31/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD 9.01 07/31/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD 9.01 07/31/04 CHEVY CHASE HOME LOAN TRUST 1996-1 MD 9.01 07/31/04 CHICOS FAS INC FL 2.02,9.01 08/26/04 CHINA DIGITAL WIRELESS INC 7.01,9.01 08/24/04 CHINA PHARMACEUTICALS INTERNATIONAL C D8 8.01 08/26/04 CHRONIMED INC MN 8.01,9.01 08/26/04 CHRONIMED INC MN 8.01,9.01 08/26/04 CINCINNATI FINANCIAL CORP DE 7.01 08/26/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY 9.01 08/26/04 CIVITAS BANKGROUP INC TN 7.01 08/25/04 CLARK INC DE 8.01 08/25/04 CLEAN DIESEL TECHNOLOGIES INC DE 5.02,9.01 07/30/04 CNA FINANCIAL CORP DE 7.01,9.01 08/26/04 CNL RETIREMENT PROPERTIES INC MD 8.01,9.01 08/25/04 COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.02,9.01 08/25/04 COLLEGIATE PACIFIC INC DE 7.01 08/26/04 COMDIAL CORP DE 2.02,9.01 08/26/04 CONSECO INC DE 5.02,5.03,7.01,9.01 08/24/04 CORPORATE OFFICE PROPERTIES TRUST MD 5.05 08/23/04 CORPORATE PROPERTY ASSOCIATES 15 INC MD 8.01,9.01 08/25/04 AMEND CORPORATE REALTY INCOME FUND I L P DE 4.01 08/20/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 07/26/04 CRT PROPERTIES INC FL 7.01,9.01 08/24/04 CSFB COMMERCIAL MORT PASS THR CERTS S DE 8.01,9.01 08/17/04 CTI INDUSTRIES CORP DE 2.02,9.01 08/24/04 CULP INC NC 2.02,9.01 08/01/04 CUNO INC DE 2.02,9.01 08/25/04 CWABS Asset Backed Certificates Trust DE 8.01,9.01 07/30/04 AMEND CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 08/18/04 CWMBS INC DE 8.01,9.01 08/23/04 CYBERONICS INC DE 2.02,9.01 08/25/04 DEB SHOPS INC PA 2.02,9.01 08/26/04 DECODE GENETICS INC DE 4.01 08/19/04 DELTA PETROLEUM CORP/CO CO 8.01 08/25/04 DIGITAL LIGHTWAVE INC DE 8.01,9.01 08/26/04 DIGITAL VIDEO SYSTEMS INC DE 4.01 08/24/04 DIMON INC VA 7.01,9.01 08/26/04 DOLLAR GENERAL CORP TN 7.01,9.01 08/26/04 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 08/26/04